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Institutional Investment Manager
B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. (CIK: 0001464811) incorporated in Washington, located at 40 S. Main St., Memphis, TN. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q3)
Original 13F HR (0000910472-14-005123) filed in 2014.11.14
#
Name
Shares
Value ($)
%
Options
Notes
451 Bank Of America Corp 15,000 15 0.01%
452 PROVECTUS 14,000 14 0.01%
453 Orlando & Orange Cnty Expwy Au 12,500 13 0.00%
454 RELIV INTL INC COM NEW 10,562 13 0.00%
455 Salt Verde Finl Corp Sr Gas Re 10,000 12 0.00%
456 Ohio St 11,000 12 0.00%
457 Miami-Dade Cnty Fla Aviation R Aviation 10,000 11 0.00%
458 Commercial Metals Co 10,000 11 0.00%
459 Ba Mtg Trust 2006-2 20,000 11 0.00%
460 New York N Y City Mun Wtr Fin 10,000 11 0.00%
461 National Holdings Corp 23,526 11 0.00%
462 Ulster Cnty N Y 10,000 11 0.00%
463 HOUSTON AMERN ENERGY CORP 34,306 10 0.00%
464 New York St Environmental Facs 10,000 10 0.00%
465 Suffolk Cnty N Y 10,000 10 0.00%
466 Butler Cnty Ohio Hosp Facs Rev Hosp Fac 10,000 10 0.00%
467 Bmc Software Inc 10,000 10 0.00%
468 AMERICAN APPAREL INC 12,500 10 0.00%
469 Dell Inc 10,000 10 0.00%
470 Dade Cnty Fla Hsg Fin Auth Mul 10,000 10 0.00%
471 New York N Y City Mun Wtr Fin 10,000 10 0.00%
472 PALATIN TECHNOLOGIES INC COM 10,000 9 0.00%
473 ATLATSA RES CORP 10,651 3 0.00%
474 App Fin II Mauritius Ltd 35,000 0 0.00%
475 WAFERGEN BIO-SYSTEMS INC 52,500 0 0.00%
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New Holding filing (0000910472-14-005227) filed in 2014.11.20, by the way our system suggest this is a Restatement filing.
#
Name
Shares
Value ($)
%
Options
Notes
501 SPDR SER TR S&P 600 SML CAP 2,131 209 0.05%
502 INVESCO V.I. CORE EQUITY FUND 14,312 208 0.05%
503 FRK NY TAX FR INCM ADVS 17,804 208 0.05%
504 ILLINOIS TOOL WKS INC 2,450 207 0.05%
505 AMR New World HLS 19,728 204 0.05%
506 AMR International HLS 20,425 204 0.05%
507 HELMERICH & PAYNE INC 2,088 204 0.05%
508 PENNEY J C 20,330 204 0.05%
509 KELLOGG CO 3,296 203 0.05%
510 INTL PAPER CO 4,262 203 0.05%
511 TOTAL S A 3,150 203 0.05%
512 TIME WARNER INC 2,696 203 0.05%
513 SANDERSON FARMS INC 2,306 203 0.05%
514 HSBC HLDGS PLC 3,977 202 0.05%
515 TRAVELERS COMPANIES INC 2,144 201 0.05%
516 VANGUARD HIGH YIELD TAX EXEMPT ADMIRAL SHARES 17,943 201 0.05%
517 PEABODY ENERGY CORP 16,257 201 0.05%
518 FRONTIER COMMUNICATIONS CORP 30,787 200 0.05%
519 CUSHING MLP TOTAL RETURN FUND 23,104 199 0.05%
520 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 13,392 199 0.05%
521 RIDGEWORTH FDS 22,144 198 0.05%
522 AMR Asset Allocation 11,448 197 0.05%
523 Jpmorgan NY Tax Free Bd Sel 26,581 195 0.05%
524 RETAIL PPTYS AMER INC CL A 13,277 194 0.05%
525 JNL/PPM America High Yield Bond Fund 10,367 192 0.05%
526 Franklin Strategic Income Securities 14,108 190 0.05%
527 POWERSHARES ETF TRUST 16,458 183 0.05%
528 PETROLEO BRASILEIRO SA PETRO 12,539 181 0.05%
529 PEDEVCO CORP 109,570 180 0.05%
530 INVESCO V.I. SMALL CAP EQUITY FUND 11,385 179 0.05%
531 HEALTHCARE TRUST AMERICA INC CL A NEW 14,931 173 0.05%
532 FRK UTILS ADVS 10,250 171 0.04%
533 PEOPLES UNITED FINANCIAL INC 11,848 171 0.04%
534 AIM Invt Fds Invesco Bal Risk Allo Cl A 13,921 170 0.04%
535 CORNERSTONE PROGRESSIVE RTN 41,000 169 0.04%
536 JOHN HANCOCK INCOME FUND-A 25,554 168 0.04%
537 API EFF FRNT INCM I 13,904 167 0.04%
538 CALAMOS CONV & HIGH INCOME F 11,682 166 0.04%
539 PIMCO Fds Fundamental Indexplus Tr Cl A 23,607 166 0.04%
540 SYNTHESIS ENERGY SYS INC 119,100 166 0.04%
541 GAMCO NATL RES GOLDINCM 16,791 164 0.04%
542 ANNALY CAP MGMT INC 15,089 161 0.04%
543 BLACKROCK ENHANCED CAP INC 10,743 160 0.04%
544 UNITED INS HLDGS CORP 10,500 158 0.04%
545 AMER RLTY CAP HEALTHCAR TR INC 15,000 157 0.04%
546 XEROX CORP 11,744 155 0.04%
547 Hercules Offshore Inc 70,000 154 0.04%
548 VANGUARD INFLATION PROTECTED SECURITIES FUND 11,486 153 0.04%
549 JNL/NEUBERGER STRAT INCOME 13,585 145 0.04%
550 PREFERRED APT CMNTYS INC COM 17,150 143 0.04%
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